GETTING STARTED

SECTION 1

CREATING USER ACCOUNTS

All new accounts will be subject to investor due diligence in order to satisfy Proteus AML, KYC and Accreditation requirements. Each task within the Initial Setup & Subscription must be completed and approved prior to accessing the platform and making investment decisions. Prior to account funding or committing, Proteus will notify the investor upon completion of the account verification.

1.1: CREATE NEW ACCOUNT (NEW USER)

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Step 1: Log in to the Proteus Platform

Visit https://platform.proteuscapital.us/ or use your organization’s custom URL and enter your user credentials to log in as an advisor or CSA. 

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Step 2: Go to Setup, then click “Advisor Group” 

Navigate to “Setup” within the left navigation pane, then select “Advisor Group” from the dropdown menu

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Step 3: Select the appropriate advisor group from the list.

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Step 4: Select “ADD” to add new account

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Step 5: Enter the information on the Add Account Basics tab. Click Account Details.

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Step 6: Complete the information on the Account Details tab. Click Investments. 

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Step 7: Select Allocation Method.*

*There are two possible options for allocating your contribution to different investments. To continue to allocate to individual investments, go to Step 8. If using a model to invest, refer to the “Invest Using a Model” section.

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Step 8: Enter the total contribution amount. 

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Step 9: Select investments and allocate funds*

*Select one or more investments by choosing the investment from the drop-down list. Enter the percentage allocation for this investment and click “ADD.” Click “SAVE” when finished. 

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Step 10: Finalize investments and save entries*

*Continue adding investments as needed.  When complete, click “SAVE.” 
 Note: The percentage allocated does not have to equal 100%.  Anything less than 100% will show the non-allocated funds as cash. 

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Step 11: The account has been created and will be shown in the Accounts tab.

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1.2: GRANT INVESTMENT ACCESS (USER ACCOUNTS)*

*Note: The following steps are a continuation from the previous module: 1. Create New Account (New User)

After a new account has been created, the next step is to give investment access to this account.  Without this, the investor tied to the account will not see any options in the investment search.   

 

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Step 1: Select the Investments tab

Navigate to “Setup,” and then click on “Advisor Group.” Select the existing advisor group and then click on the “Investments” tab. 

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Step 2: Create a new Investment Access Group*

*To create a new Investment Access Group, click the “ADD” button. If the correct group already exists, continue to Step 7

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Step 3: Enter the new Access Group Name. Click “SAVE” when finished.

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Step 4: The new Access Group was created and can be seen in the list.

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Step 5: Select the Access Group to assign investments. Click “EDIT” to select investment access.

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Step 6: Select the appropriate funds and click SAVE. 

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Step 7: Associate the new account with the Investment access group. Then, select the “Accounts” tab.

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Step 8: Click “EDIT”

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Step 9: Choose the correct account(s) and click “SAVE.”

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Step 10: The account has now been created and assigned investment access.  The investor now has a new user account created as well. 

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1.3: CREATE NEW ACCOUNT (EXISTING USER)

This section will help you create a new account from an existing user account. If you need to create a new account under a new user, please refer to: 1. Create New Account (New User)

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Step 1: Login as an advisor or CSA.

Visit https://platform.proteuscapital.us/ or use your organization’s custom URL and enter your user credentials to log in as an advisor or CSA. 

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Step 2: Navigate to “Setup,” and then click on “Advisor Group.” 

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Step 3: Select the appropriate advisor group from the list.

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Step 4: Select “ADD” to add a new account.

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Step 5: Enter account name, first name, last name, email and date of birth.

Visit https://platform.proteuscapital.us/ or use your organization’s custom URL and enter your user credentials to log in as an advisor or CSA. 

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Step 6: Select Existing under User and choose the correct user from the User Name drop-down list.

Navigate to “Setup” within the left navigation pane, then select “Advisor Group” from the dropdown menu

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Step 7: Click “SAVE” when finished to proceed. 

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Step 8: Click Account Details and continue with Step 6 under 1. Create New Account (New User)

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SECTION 2

THE SUBSCRIPTION PROCESS

All new investment accounts will need to complete the subscription process in order to fund the account and invest in desired investment options and/or models. The steps below will detail how to complete this process from both the user account and the admin accounts tied to it. 

2.1: CREATE NEW SUBSCRIPTION

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Step 1: Log in as an advisor or CSA.

Visit https://platform.proteuscapital.us/ or use your organization’s custom URL and enter your user credentials to log in as an advisor or CSA. 

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Step 2: View the correct account by selecting “CHANGE.” in the top navigation bar. 

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Step 3: Deselect any previously selected accounts.

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Step 4: Select the correct account and choose “VIEW.”

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Step 5: Select “Subscriptions” and choose “Account Setup.”

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Step 6: The system will walk the user through the information required to populate the subscription document.  

First, review the important documentation on the Proteus Fund.

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Step 7: Place the mouse on the “Articles of Association” document and select.

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Step 8: The document will download for review.

Open the document and review the information before proceeding. 

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Step 9: Continue reviewing each document in the list.  

Repeat Step 7 and Step 8 for the remaining documents in the list. Once complete, select the checkbox next to the acknowledgement and choose “SAVE & NEXT.”

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Step 10: Enter the financial information for funding of the account. Click “SAVE & NEXT.”*

*Reminder: Fields outlined in red in Proteus are required.

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Step 11: Review and select the appropriate statements for designating an accredited investor. Click “SAVE & NEXT.”

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Step 12: Review and select the appropriate qualified client statements if applicable.  Click “SAVE & NEXT.” 

First, review the important documentation on the Proteus Fund.

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Step 13: Review and select the appropriate qualified purchaser statements if applicable. Select “SAVE & NEXT.”

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Step 14: Indicate if subscriber is a benefit plan and complete the required information in applicable.  Select “SAVE & NEXT.”

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Step 15: Enter the required information for the capital account. Select “SAVE & NEXT.”

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Step 16: Enter organization type and investment company status. Select “SAVE & NEXT.”

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Step 17: Enter information on the investor’s sophistication. Select “SAVE & NEXT.”

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Step 18: Review authorized agents and enter additional if necessary. Click “ADD” to add another authorized agent.

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Step 19: Enter the additional authorized agent’s name and email. Click “SAVE.”

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Step 20: Once all authorized agents are listed, click “SAVE & NEXT.

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Step 21: Review the disqualified persons statements and select any if applicable. Click “SAVE & NEXT.”

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Step 22: Enter information for the Anti-Money Laundering verifications. Click “SAVE & NEXT.

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Step 23: Review and select the appropriate investor status statement(s). At least one lettered statement must be selected. Click “SAVE & NEXT.”

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Step 24: Enter the tax information. Click “SAVE & NEXT.”

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Step 25: Upload the required documentation. To upload, click “ADD.”

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Step 26: Click “UPLOAD.”

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Step 27: Navigate to and select the correct document. Click “Open.”

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Step 28: Click “SAVE.”

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Step 29: Repeat until all required documents are loaded. Then click “SAVE & NEXT.”

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Step 30: The initial subscription amount is carried over from account creation. Click “SAVE & NEXT.”

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Step 31: Enter the required information for the Risk Attestation.

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Step 32: Add all alternative or illiquid investments. The current Proteus investment will default. Enter the investment amount and description. Click “ADD.”

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Step 33: Continue this process until all alternative investments are noted. Click “SAVE.”

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Step 34: Double check all the entered information. Once satisfied, the subscription package is ready for submission. Continue with [need title] for instructions on how to submit the subscription package.

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SECTION 3

MAKING INVESTMENTS

Once the account has been funded via the subscription process in Section 2, investments can be selected via the Investment Search functionality within the platform, or by using a user- or admin-created investment model. 

3.1: INVEST USING A MODEL

Custom investment models may be created by different users, advisors and administrators to streamline the investment process and performance tracking of specific funds. The following steps will detail how to invest in models within the platform. 

Note: These steps are a supplement to step 1 of 1.2 Grant Investment Access (User Accounts)

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Step 1: In the “Add Account” process on the “ Investments” tab, choose Model.

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Step 2: Enter the contribution amount.

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Step 3: Select the appropriate model from the drop-down list. Enter the percentage allocation and click ADD.

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Step 4: Repeat the previous step, if necessary.  Once done, click “SAVE.”

Continue the add account process with Step 1 of 1.2 Create New Account – New User Process above. 

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SECTION 4

COMPLIANCE OPERATIONS

This section details the proper method of submitting subscription agreements to Sanctuary Wealth Partners’ compliance team. 

4.1: SWP COMPLIANCE PROCESS

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Step 1: Compliance receives an email stating a Proteus Subscription Agreement has been submitted.

Review the subscription agreement attached to the email or access the agreement within Proteus.

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Step 2: Login as SWP Compliance user (swpcompliance).

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Step 3: Change the view to the account listed in the email. Click “CHANGE.”

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Step 4: De-select any previously selected accounts.

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Step 5: Select the correct account. Click “VIEW.”*

*From here you can view the account information. Under “Investment Search,” the investments to which the investor has access can also be reviewed.

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Step 6: Under “Documents,” the executed subscription agreement can be found.

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Step 7: Once satisfied with the information and ready to approve, go to “Workflow” and select “Workflow Processes.”

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Step 8: Select the appropriate account from the list.

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Step 9: Click the arrow next to “Compliance Review” and select the “Compliance Review” task.

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Step 10: Enter the investor name, the reviewer name, the date and any notes.

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Step 11: Once ready to approve, check the Mark Task Complete box and click “SAVE & NEXT.”

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Step 12: The tasks will show as complete and a notification will be sent to Proteus stating Compliance has approved the account.

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SECTION 5

DUE DILIGENCE OPERATIONS

This section details the proper method of creating non-investing due diligence users and security groups for your organization. 

5.1: CREATING A DUE DILIGENCE USER

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Step 1: Log in to the Proteus Platform.  

Visit https://platform.proteuscapital.us/ or use your organization’s custom URL and enter your user credentials to log in as an advisor or CSA. 

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Step 2: Go to Setup, then click “Advisor Group” 

Select the appropriate advisor group from the list and click on “User Security.”

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Step 3: Click “ADD” under “Users” to begin adding a new a user.

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Step 4Select the “New” radio button to designate a new user.

Enter the user name, login, and email for the user. Click “SAVE” to continue.

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Step 5: The user is now created and can be accessed from the user list.

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Step 6 Select user and select “Edit” under “Groups”

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Step 7: Check the Due Diligence security group and click “SAVE.” 

(See 6.1…. for instructions on creating the security group if it does not exist.)

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Step 8Select the “Investments” tab.

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Step 9: Create a new Investment Access Group, if one does not exist, by clicking “ADD.”

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Step 10Enter the name for the Investment Access Group, a description and click “SAVE.”

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Step 11: Select the new access group.

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Step 12Choose the investment(s) to add to the group and then click “EDIT.”

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Step 13: Check the appropriate investment(s) and click “SAVE.”

Now the investment(s) are included in the investment access group. Next, we will connect the user with the investment access group. 

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Step 14Select the “Users” tab.

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Step 14: Click “EDIT.”

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Step 15 Select the user(s) you want to associate with this access group, then click “SAVE.”
In this example: The user, Robert Jones, now has access to the Dominion Access investment group. When Robert logs in, he will see only the Dominion fund in the investment search.

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5.2: CREATE A DUE DILIGENCE SECURITY GROUP*

*Follow these instructions if the Due Diligence Group and Role do not exist. 

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Step 1: Go to “Setup”, “Advisor Group”, *Your Advisor Group*, “User Security” and select “Roles.”

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Step 2Select “ADD.”

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Step 3: 1. Enter the name of the group and select “SAVE.”

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Step 4Select the new role to assign security actions.

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Step 5: Click “EDIT” under Actions.

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Step 6Select the appropriate security actions. For a Due Diligence user, only allow access to Investment Search. Click “SAVE.”

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Step 7: Select “Groups.”

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Step 8Select “ADD.”

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Step 9: Enter the name of the group and click “SAVE.”

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Step 10Select the new Group to associate the Due Diligence role.

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Step 11: Select the “Roles” tab.

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Step 12Select “EDIT.”

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Step 13: Select the appropriate Security Role. In this case, Due Diligence. Click “SAVE” when finished.
The Security Group is now created and ready for use.

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SECTION 6

SUBMITTING THE SUBSCRIPTION PACKAGE

This section details the three methods for submitting the subscription agreement to Proteus once all operations have been completed. 

6.1: SUBMIT THE SUBSCRIPTION PACKAGE – MANUAL SIGNATURES

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Step 1: Log in to the Proteus Platform as an Advisor or CSA

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Step 2: Review the subscription information to ensure its accuracy. Once the information is verified, click “SUBMIT.”

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Step 3: Choose the method for obtaining signatures.

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Step 4: Choose “Manual” and click “SAVE.”

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Step 5: Click “DOWNLOAD” to save a copy of the document.

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Step 6: Open and print the document.

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Step 7: View the account and navigate to “Subscriptions,” and then “Account Setup.” Select “UPLOAD.”

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Step 8: Navigate to and select the correct document. Click “Open.”

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Step 9: The signed document has been uploaded. The subscription package will now be reviewed by SWP compliance and Proteus.

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Step 10: The signed document can also be seen under “Documents,” under “Executed Subscription Agreement.”

 

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6.2: SUBMIT THE SUBSCRIPTION PACKAGE – DOCUSIGN

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Step 1: Follow Steps 1-3 from the previous module: 6.1: Submit the Subscription Package – Manual Signatures

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Step 2: Select “DocuSign.”

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Step 3: Determine the correct signer workflow.

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Step 4: Select the signers and the order to sign (if serial/series is chosen).

 

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Step 5: Follow the instructions from DocuSign. Once complete, the following message is displayed.

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Step 6: View the email and select “REVIEW DOCUMENT.”

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Step 7: 1. Follow the instructions from DocuSign. Once complete, the following message is displayed.

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6.3: SUBMIT THE SUBSCRIPTION PACKAGE – PLATFORM

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Step 1: Follow Steps 1-3 from the previous module: 6.1: Submit the Subscription Package – Manual Signatures

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Step 2: Select “Platform.”

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Step 3: Determine the correct signer workflow.

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Step 4: Select the signers and the order to sign (if serial/series is chosen).

 

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Step 5: Login as the Investor.

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Step 6: Review the statement and enter name and title (if necessary).Click “NEXT.”

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Step 7: Review the second signature statement and enter name and title (if necessary). Click “SAVE.”

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Step 8: Login as the advisor.

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Step 9: Enter name and title (if necessary). Click “NEXT.”

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Step 10: Enter name and title (if necessary). Click “SAVE.”

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SECTION 7

ADDITIONAL ASSISTANCE

For additional assistance with the setup and use of your account, send an email to IR@proteuscapital.us or call us at 1-317-653-2756 and a member of our team will contact you shortly.

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